Carol M. Horace

STAFFORD CAPITAL MANAGEMENT LLC

Sausalito, CA 94965

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CRD#: 842252

Professional summary

Carol Marshall Horace, who also goes by Carol Ruth Marshall, is a registered financial advisor currently at STAFFORD CAPITAL MANAGEMENT LLC located in Sausalito, California.

Carol is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Carol has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carol Ruth Marshall

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Stafford Capital; San Francisco, CA; Investment Related; Hourly Employee; Office Manager, Head Trader and Personal Assistant; 3 hours per day.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Marshall Horace's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 19, 2012 - Present

STAFFORD CAPITAL MANAGEMENT LLC

Office #1: 1505 Bridgeway Suite 206, Sausalito, CA 94965

RIA

CRD#: 108134

Sausalito, CA

Past

March 26, 2018 - June 26, 2018

WM. H. MURPHY & CO., INC.

CRD#: 27274

HOUSTON, TX

Past

March 26, 2012 - June 29, 2016

DISCERN SECURITIES, INC.

CRD#: 155854

SAN MATEO, CA

Past

October 22, 2010 - February 23, 2011

CAPFI PARTNERS LLC

CRD#: 113795

NEW YORK, NY

Past

June 21, 2010 - December 21, 2011

POTOMAC RESEARCH GROUP

RIA

CRD#: 151983

LARKSPUR, CA

Past

July 29, 2005 - March 31, 2009

STANFORD GROUP COMPANY

CRD#: 39285

SAN FRANCISCO, CA

Past

December 15, 2003 - September 1, 2004

PULSE TRADING, INC.

CRD#: 104022

BOSTON, MA

Past

September 16, 2002 - December 16, 2003

DOMINARI SECURITIES LLC

CRD#: 18975

NEW YORK, NY

Past

February 15, 2001 - September 17, 2002

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

September 1, 2000 - October 11, 2002

UBS CAPITAL MARKETS L.P.

CRD#: 2692

STAMFORD, CT

Past

August 6, 1993 - September 7, 2000

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

September 16, 1982 - August 10, 1993

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(3/19/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/30/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/22/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/26/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/13/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/20/1977

General Securities Representative Examination

Current Firm

STAFFORD CAPITAL MANAGEMENT LLC

PACIFIC MANAGEMENT, LTD. | STAFFORD CAPITAL MANAGEMENT LLC

CRD#: 108134 / SEC#: 801-56846

RIA

Registered Investment Advisory firm - (7/18/2012 Terminated)

California

Registered Investment Advisory firm - (7/13/2012 Approved)

Texas

Registered Investment Advisory firm - (5/9/2012 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1505 Bridgeway Suite 206, Sausalito, CA 94965

Mailing Address

Phone number

(415) 362-6120

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	5
AUM (Assets Under Management)	$ 4,867,912

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Carol M. Horace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Marshall Horace's CRS (Customer Relationship Summary).

Certified licenses

Experience

WM. H. MURPHY & CO., INC.

DISCERN SECURITIES, INC.

CAPFI PARTNERS LLC

POTOMAC RESEARCH GROUP

STANFORD GROUP COMPANY

PULSE TRADING, INC.

DOMINARI SECURITIES LLC

CHARLES SCHWAB & CO., INC.

UBS CAPITAL MARKETS L.P.

CHARLES SCHWAB & CO., INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/30/2010

Series 63

Date: 9/22/1993

SIE

Date: 6/26/2018

Series 55

Date: 3/13/2000

Series 7

Date: 8/20/1977

Current Firm

STAFFORD CAPITAL MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STAFFORD CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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